A CRA expert was retained in a case involving a corporate executive who allegedly conveyed material, non-public information to his broker. High concentrations of the company’s securities held in the accounts of the broker’s family members and clients suggested that his view of the riskiness of these shares diverged strongly from the market. The case settled following expert testimony.
Compliance solutions for pandemic-related fraud risks
When the COVID-19 pandemic struck the US in March 2020, office environments, supply chains and traditional ways of doing business evaporated in mere weeks....